CB
Chad A. Bell
OSAIC INSTITUTIONS
Barre, VT 05641-4171
Some features on this profile are disabled
CRD#: 4073111
CB
Professional summary
Chad Allen Bell, CFP® is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Barre, Vermont.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Chad has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) Seizan Capital, LLC. Venture capital. High yield lending commercial property investments. Yes, investment related. Starting in Oct 2019. Approx 20 hours per month not during trading hours. 2.) Green Mountain ice, LLC. Not investment related. Part Owner. Retail ice business servicing stores. Approx 5 hours per Month not during trading hours. 3.) Hungerford Terrace (Units 11, 15 and 21)(no name yet). Burlington, VT. Residential rental units. Part owner. Not investment related. Review Financials, all other aspects are handled by a 3rd party. Approx 5 hours per month not during trading hours. 4.)Seizan Capital Foundation, Inc. Not investment related. Board member. approx 5 hours per month not during trading hours. Help young adults and school aged individuals with the basics of finance - Financial Literacy. 5.) SC Packard LLC. Commercial Property with three commercial tenants. Not investment related. Part Owner. Less than 1 hour per month. Review bookkeeper records. 6.) Green Mountain Water Proofing. Residential waterproofing. Not investment related. Part owner. Work weekends. Approx 4 hours per month. 7.) Seizan Capital College Street, LLC. Residential Rental units for college housing. Not investment related. Part Owner. Approx 2 hours per month not during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Chad Allen Bell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Chad Allen Bell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2016
Experience
Current
October 17, 2011 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 289 North Main Street, Barre, VT 05641-4171Office #2: 116 Church Street, Burlington, VT 05401RIA
BD
CRD#: 35371
Barre, VT
Current
October 11, 2011 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 289 North Main Street, Barre, VT 05641-4171Office #2: 116 Church Street, Burlington, VT 05401RIA
BD
CRD#: 35371
Barre, VT
Past
October 1, 2004 - October 14, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
BARRE, VT
Past
September 21, 2004 - October 14, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
BARRE, VT
Past
April 25, 2003 - September 2, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CHESTERFIELD, MO
Past
April 5, 2001 - September 2, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
July 17, 2000 - March 29, 2001
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/11/2011)
RR
California(10/11/2011)
RR
Colorado(8/1/2012)
RR
Connecticut(10/11/2011)
RR
District of Columbia(1/10/2014)
RR
Florida(10/11/2011)
RR
Kentucky(10/11/2011)
RR
Maine(10/11/2011)
RR
Maryland(10/11/2011)
RR
Massachusetts(10/11/2011)
RR
Nevada(10/11/2011)
RR
New Hampshire(10/11/2011)
RR
New Jersey(10/11/2011)
RR
New Mexico(10/11/2011)
RR
New York(10/11/2011)
RR
North Carolina(10/11/2011)
RR
Oregon(10/11/2011)
RR
Pennsylvania(10/11/2011)
RR
Rhode Island(10/11/2011)
RR
South Carolina(10/11/2011)
RR
Tennessee(1/16/2019)
RR
Texas(10/11/2011)
RR
Vermont(10/17/2011)
IAR
Vermont(10/17/2011)
RR
Virginia(10/11/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
